Jonathan K. Nickens
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jonathan Kyle Nickens was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1993. Jonathan had worked at 9 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2012 - February 5, 2013
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
October 1, 2003 - May 21, 2012
PULSE TRADING, INC.
October 30, 2000 - October 7, 2003
THOMAS WEISEL PARTNERS LLC
February 18, 2000 - October 26, 2000
W.R. HAMBRECHT + CO., LLC
March 18, 1999 - December 20, 1999
VOLPE BROWN WHELAN & COMPANY, LLC
February 10, 1997 - December 23, 1998
HAMBRECHT & QUIST LLC
July 26, 1995 - January 9, 1997
WELLS FARGO SECURITIES, LLC
May 6, 1994 - August 1, 1995
MONTGOMERY SECURITIES
April 8, 1993 - September 22, 1993
L.C. WEGARD & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107 / SEC#: , 8-44744
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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